Critical analysis of the formalization of small-scale and artisanal mining in Peru: Progress, limitations, and determining factors

Sonco-Villanueva H.B.; Huisa-Mamani F.; Arizaca-Avalos A. · Resources Policy (2026) · DOI: 10.1016/j.resourpol.2026.106048

Resumen

This paper aims to question the effectiveness of Peru's Comprehensive Mining Formalization Process (PFMI) and the Integral Registry of Mining Formalization (REINFO) in facilitating the process of substantive formalization of artisanal and small-scale mining (ASM). It combines statistical analysis of over 170,000 administrative records (2020–2025) and operator-level logistic regression, departmental count models, regulatory review, and territorial analysis in a mixed-methods analysis. The findings show a substantial divergence between administrative incorporation and substantive progress. REINFO grew from 51,056 registered operators in 2020 to 87,300 in 2023, but only around 20% of the files continued to be valid in 2023, and almost 80% were suspended. The remarkable achievement in the structural requirements also continued: just 768 operators had successfully submitted mining-right accreditation, 303 surface land authorization, and 500 CIRA in 2023. For the environment, further progress remained difficult. In 2023, 68.4% of operators had no registered status with respect to the Environmental Management Instrument for the Formalization of Small-Scale and Artisanal Mining Activities (IGAFOM), 23.8% were under evaluation, 6.0% had handed in the instrument, and only 0.9% had received the approval. The models indicate that current file status and CIRA submission are the strongest positive predictors of IGAFOM approval, with mining-right accreditation negatively associated with approval but revealing that legal and property-right clashes constitute the principal bottleneck. The significance of surface land authorization is reduced but improves as the territorial feasibility of progress comes into play. Overall, the findings suggest that Peru's formalization regime operates more like a mass registration mechanism than as an effective means of obtaining formal legal and environmental regularization. To move towards real and substantive formalization, differentiated pathways, administrative simplification, greater subnational capacity, and better territorial coordination will be needed to overcome the identified structural bottlenecks.

Instituciones: Universidad Nacional del Altiplano